Thai Securities Companies (ASCO) 1 . The SEC therefore revoked the approval of Auracha as securities investment consultant and prohibited her re-entry as capital market personnel for 10 years, starting
ratio; (2) period for the offering for sale of securities; (3) subscription, underwriting and distribution of securities; (4) acceptance of payment and delivery of securities; (5) custody and arrangement
every firm passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take
Offer for the Securities of Sahacogen (Chonburi) Public Company Limited 19/11/2021 12:33 Purchasing of Ordinary Shares of a Hydroelectric Power Plant in the Republic of Indonesia 28/10/2021 13:39 Entry
the documents evidencing title to the securities being offered (including temporary documents of title, if applicable) to subscribers or purchasers; and (b) the book-entry transfers of the securities
AQIs ) 1 % 2564 2563 1 (Leadership Responsibilities for Quality within the Firm) ( ) (1) 2 (Relevant Ethical Requirements) ( ) (3) 3 (Acceptance and Continuance of Client Relationships and Specific
2562 1 (Leadership Responsibilities for Quality within the Firm) ( ) (2) 2 (Relevant Ethical Requirements) ( ) ( ) 3 (Acceptance and Continuance of Client Relationships and Specific Engagements) (1) (3
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists